Contents

Title and Copyright Information

Preface

• Audience
• Documentation Accessibility
• Related Documentation
• Conventions

1 Introduction to the Upgrade Process for Oracle Database

• Where to Find the Latest Information About Upgrading Oracle Database
• Overview of Oracle Database Upgrade Tools and Processes
• Major Steps in the Upgrade Process for Oracle Database
• About Oracle Database Release Numbers
  • Convention for Referring to Release Numbers in Oracle Database Upgrade Guide
  • About Running Multiple Oracle Releases
    • Databases in Multiple Oracle Homes on the Same Computer
    • Databases in Multiple Oracle Homes on Separate Computers
    • About Earlier Oracle Database Releases and Upgrading to the Current Release
    • About Upgrading Clients to the Current Release of Oracle Database
• Compatibility and Interoperability Between Oracle Database Releases
  • What Is Compatibility for Oracle Database?
    • The COMPATIBLE Initialization Parameter in Oracle Database
    • Default, Minimum, and Maximum Values of the COMPATIBLE Initialization Parameter for Oracle
    • Considerations for Downgrading Oracle Database and Compatibility
    • How the COMPATIBLE Initialization Parameter Operates in Oracle Database
    • Checking the Compatibility Level of Oracle Database
    • When to Set the COMPATIBLE Initialization Parameter in Oracle Database
  • What Is Interoperability for Oracle Database?
• Optimal Flexible Architecture (OFA) in Oracle Database
• Converting Databases to 64-bit Oracle Database Software
• About Rolling Upgrades for Oracle Database
  • Summary of Methods for Performing Rolling Upgrades for Oracle Database
• Moving From Standard Edition to Enterprise Edition of Oracle Database
• About Moving From Enterprise Edition to Standard Edition of Oracle Database
• About Upgrading from Oracle Database Express Edition to Oracle Database

2 Preparing to Upgrade Oracle Database

• The Main Steps for Preparing to Upgrade Oracle Database
  • Become Familiar with New Oracle Database Features for Upgrading
  • Determine the Upgrade Path for Upgrading Oracle Database
  • Choose an Upgrade Method for Upgrading Oracle Database
    • Database Upgrade Assistant (DBUA)
    • Manual Upgrade
    • Oracle Data Pump Export and Import and Oracle Database Upgrade
  • Choose a Location for the New Oracle Home for Upgrading Oracle Database
  • Develop a Testing Plan to Upgrade Oracle Database
    • Oracle Database Upgrade Testing
    • Minimal Testing for Upgrading Oracle Database
    • Functional Testing for Upgrading Oracle Database
    • High Availability Testing for Upgrading Oracle Database
    • Integration Testing for Upgrading Oracle Database
    • Performance Testing for Upgrading Oracle Database
    • Volume and Load Stress Testing for Upgrading Oracle Database
  • Prepare a Backup Strategy for Upgrading Oracle Database
• Testing the Upgrade Process for Oracle Database
• Testing the Upgraded Test Oracle Database

3 Upgrading to the New Release of Oracle Database

• System Considerations and Requirements for Upgrading Oracle Database
  • Relocating Existing Data Files to the New Oracle Database Environment
  • About Upgrading PL/SQL Packages That Are Not Installed by Default
  • About Upgrading Oracle ASM Installed with Oracle Grid Infrastructure
  • Considerations for Upgrading Oracle Clusterware and Oracle ASM Instances
    • Determining If Oracle ASM is Included in the Current Database Configuration
    • About Upgrading an Oracle Real Application Clusters (Oracle RAC) Database
    • About Requirements for Time Synchronization on Oracle RAC
    • Considerations for Upgrading Oracle RAC and Databases That Use Oracle ASM
    • About Upgrading System Authentication for Oracle ASM Instances
    • Considerations for Upgrading an Oracle ASM Instance
  • About Upgrading with Read-Only and Offline Tablespaces
  • About Upgrading Using Standby Databases
  • About Upgrading Your Operating System
  • Migrating Data to a Different Operating System
  • About Upgrading Databases That Use Oracle Streams Downstream Capture
  • About Upgrading Databases That Use Oracle Database Vault
• Installing the New Oracle Database Software for the Upgrade
• About the Latest Patch Set Updates and Any Required Patches
• Using the Pre-Upgrade Information Tool
  • Pre-Upgrade Information Tool Miscellaneous Warnings
    • Updating the CONNECT Role from Earlier Releases
    • Managing and Updating Access Control Lists and Network Utility Packages
    • Assessing Dependencies and Adding ACLs for Network Utility Packages
    • About Downgrading and Database Links from Earlier Releases
    • About Warnings for TIMESTAMP WITH TIME ZONE Data Type
    • Decreasing Downtime for Gathering Optimizer Statistics (Optional)
    • Identifying Invalid Objects
    • Saving Database Control Files and Data with the emdwgrd Utility
    • Verifying That Materialized View Refreshes Have Completed
    • Ensuring That No Files Need Media Recovery
    • Ensuring That No Files Are in Backup Mode
    • Resolving Outstanding Distributed Transactions
    • Synchronizing a Standby Database with the Primary Database
    • Purging the Database Recycle Bin
• Configuring the Listener When Upgrading from Oracle9i
• Upgrading with Database Upgrade Assistant on Linux, UNIX, and Windows
  • Considerations for Using DBUA
  • About the DBUA Graphical User Interface
    • Checks Performed by Oracle DBUA
    • Upgrade Scripts Invoked by Oracle DBUA
  • Using DBUA to Upgrade the Database on Linux, UNIX, and Windows Systems
• Optionally Performing an In-Place Upgrade (Into the Same Oracle Home)
  • In-Place Upgrade on Windows
    • Considerations for In-Place Upgrade of Oracle Database on Windows Platforms
    • Performing an In-Place Upgrade of Oracle Database on Windows
  • Using DBUA in Silent Mode to Upgrade Oracle Database
    • Oracle DBUA Command Line Options for Silent Mode
    • DBUA Command Line Syntax for Silent Mode
• Upgrading Oracle Database Manually
  • Backing Up Oracle Database for a Manual Upgrade
  • Preparing the New Oracle Home for a Manual Upgrade
  • Manually Upgrading Oracle Database
    • About the Post-Upgrade Status Tool
• Troubleshooting the Upgrade of Oracle Database
  • Pre-Upgrade Oracle Home Removal on Oracle RAC
  • Resource Limits and Oracle Database Upgrade
  • COMPATIBLE Parameter Not Set
  • Edition Session Startup Error
  • Manual Workaround for ORA-01408
  • Running the DBMS_DST Package After Upgrade Can Result in ORA-01822
  • Understanding Component Status
  • DBUA May Mark Invalid Components with an X Before Entire Upgrade is Done
• Rerunning the Upgrade for Oracle Database
• Cancelling the Upgrade for Oracle Database
• About Upgrading an Oracle ASM Instance

4 Post-Upgrade Tasks for Oracle Database

• Required Tasks to Complete After Upgrading Oracle Database
  • Setting Environment Variables on Linux and UNIX Systems After Manual Upgrades
  • Setting oratab and Scripts to Point to the New Oracle Home After Upgrading Oracle Database
  • Upgrading the Recovery Catalog After Upgrading Oracle Database
  • Upgrading the Time Zone File Version After Upgrading Oracle Database
  • Upgrading Statistics Tables Created by the DBMS_STATS Package After Upgrading Oracle Database
  • Upgrading Externally Authenticated SSL Users After Upgrading Oracle Database
  • Installing Oracle Text Supplied Knowledge Bases After Upgrading Oracle Database
  • Updating Your Oracle Application Express Configuration After Upgrading Oracle Database
  • Configuring Fine-Grained Access to External Network Services After Upgrading Oracle Database
  • Enabling Oracle Database Vault and Revoking the DV_PATCH_ADMIN Role After Upgrading Oracle Database
• Recommended Tasks to Complete After Upgrading Oracle Database
  • Recommended Tasks to Perform After All Database Upgrades
    • Back Up the Database
    • Reset Passwords to Enforce Case-Sensitivity
    • Understand Changes with Oracle Grid Infrastructure
    • Understand Oracle ASM and Oracle Grid Infrastructure Installation and Upgrade
    • Add New Features as Appropriate
    • Develop New Administrative Procedures as Needed
    • Set Threshold Values for Tablespace Alerts
    • Migrate From Rollback Segments to Automatic Undo Mode
    • Configure Oracle Data Guard Broker
    • Migrate Tables from the LONG Data Type to the LOB Data Type
    • Test the Upgraded Production Database
  • Recommended Tasks After Upgrading an Oracle Database 10g Release 1 (10.1) Database
    • Upgrade Change Data Capture
    • Configure Secure HTTP
    • Provide Anonymous Access to XML DB Repository Data Through HTTP
  • Recommended Tasks After Upgrading an Oracle Express Edition Database
  • Recommended Tasks After Upgrading an Oracle RAC Database
• Tasks to Complete Only After Manually Upgrading Oracle Database
  • Change Passwords for Oracle Supplied Accounts
  • Create Password File with ORAPWD
  • Migrate Your Initialization Parameter File to a Server Parameter File
  • Upgrade Oracle Text
  • Upgrade the Oracle Clusterware Configuration
  • Adjust the Initialization Parameter File for the New Release
    • Setting the COMPATIBLE Initialization Parameter
    • Configuring tnsnames.ora and Listener Parameters
  • Configure Enterprise Manager
  • Set CLUSTER_DATABASE Initialization Parameter For Oracle RAC
• Required Tasks After Oracle Grid Infrastructure Upgrades
  • Using Environment Variables for Grid Infrastructure Installations
  • Upgrading An Earlier Release of Oracle ASM to Oracle Grid Infrastructure
    • Preparing to Upgrade Oracle ASM
  • Upgrading Oracle ASM
• Required Tasks After Oracle ASM Upgrades
  • Set Environment Variables
  • Single-Instance Oracle ASM Upgrade
  • Cluster Oracle ASM Upgrade
  • Additional Considerations After Oracle ASM Upgrades
    • Role-Allocated Software Owners and Database Upgrade After Oracle ASM Upgrade
    • Keeping the Existing User as the Oracle ASM Operating System User
    • Changing the Operating System User for Single-Instance Oracle ASM
    • Changing the Operating System User for an Oracle RAC Database
• Recommended Tasks After Oracle ASM Upgrades
  • Reset Oracle ASM Passwords to Enforce Case-Sensitivity
  • Advance the Oracle ASM and Oracle Database Disk Group Compatibility
  • Set Up Oracle ASM Preferred Read Failure Groups

5 Upgrading Applications After Upgrading Oracle Database

• Overview of Upgrading Applications
• Compatibility Issues for Applications When Upgrading
• Upgrading Precompiler and OCI Applications
  • Understanding Software Upgrades and Your Client/Server Configuration
    • Types of Software Upgrades for Oracle Database
    • Possible Client/Server Configurations
  • Compatibility Rules for Applications When Upgrading Client/Server Software
    • Upgrading the Oracle Database Server Software
    • Upgrading the Oracle Database Client Software
  • Upgrading Options for Your Precompiler and OCI Applications
    • Option 1: Leave the Application Unchanged
    • Option 2: Precompile or Compile the Application Using the New Software
    • Option 3: Change the Application Code to Use New Oracle Database 11g Features
• Upgrading SQL*Plus Scripts and PL/SQL
  • Change to Evaluation of Numeric Literals
• Upgrading Oracle Forms or Oracle Developer Applications

6 Downgrading Oracle Database to an Earlier Release

• Supported Releases for Downgrading Oracle Database
• Check for Incompatibilities Between Oracle Database Releases
• Remove Unsupported Parameters from Server Parameter File (SPFILE)
• Perform a Full Backup of Oracle Database Before Downgrading
• Downgrading Oracle Database to an Earlier Release
• Post-Downgrade Tasks for Oracle Database
  • Re-creating the Network Listener When Downgrading to Oracle Database Releases 10.2 or 11.1
  • Restoring Oracle Enterprise Manager after Downgrading Oracle Database
  • Re-enabling Oracle Database Vault after Downgrading Oracle Database
  • Restoration of the Configuration for Oracle Clusterware after Downgrading
  • Downgrading and Database Links from Earlier Releases
• Troubleshooting the Downgrade of Oracle Database

7 Moving Data Using Oracle Data Pump

• About Data Pump Export and Import for Upgrading Oracle Database
  • When to Use the Original EXP and IMP Utilities
• Export and Import Requirements for Oracle Database Upgrades
  • About Export Dump Files and Upgrading
  • Export and Import Requirements for Downgrades
  • Export/Import Usage on Data Incompatible with a Previous Release
• Upgrading the Database Using Data Pump Export/Import
  • Importing a Full Database Using a Network Link

A Behavior Changes After Upgrading Oracle Database

• Compatibility and Interoperability Issues in Oracle Database 11g Release 2 (11.2)
  • Deprecation of Oracle Enterprise Manager Database Control
  • Deprecation of SNMP Support in Oracle Net Listener
  • Changes to PL/SQL Procedures
  • JOB_QUEUE_PROCESSES Parameter and Scheduling Jobs
  • Deprecated XML DB Constructs
  • Cursor_sharing=similar Obsolete in Oracle Database
  • Planned Desupport of Change Data Capture
  • Initialization Parameters Deprecated in Oracle Database 11g Release 2 (11.2)
  • Initialization Parameters Obsolete in Oracle Database 11g Release 2 (11.2)
  • Static Data Dictionary Views Deprecated in Oracle Database 11g Release 2 (11.2)
  • Dynamic Performance Views Deprecated in Oracle Database 11g Release 2 (11.2)
  • Deprecated Features in Oracle Database 11g Release 2 (11.2)
  • Changes to LOG_ARCHIVE_DEST_n Parameters
  • Desupport of -cleanupOBase Flag of the Deinstallation Tool
  • Desupport of the DES, RC4, and MD5 Algorithms
• Compatibility and Interoperability Issues in Oracle Database 11g Release 1 (11.1)
  • Initialization Parameters Deprecated in Oracle Database 11g Release 1 (11.1)
  • Initialization Parameters Obsolete in Oracle Database 11g Release 1 (11.1)
  • Static Data Dictionary Views with Dropped Columns in Oracle Database 11g Release 1 (11.1)
  • Deprecated Features in Oracle Database 11g Release 1 (11.1)
  • Automatic Maintenance Tasks Management
  • New SYSASM Privilege and OSASM Group for ASM Administration
  • ASM Disk Group Compatibility
  • COMPUTE STATISTICS and ESTIMATE STATISTICS Clauses
  • Oracle Data Mining Models and the DMSYS Schema Objects
  • Oracle Data Mining Scoring Engine
  • SQL Plan Management and Control of SQL Plan Baselines
  • Binary XML Support for Oracle XML Database
    • When Upgrading to Oracle Database 11g Release 1 (11.1)
  • PL/SQL Native Compilation and Access Control for Network Utility Packages
    • PL/SQL Native Compilation
    • Access Control for Network Utility Packages
  • PL/SQL Control Parameters
  • Change in WebDAV ACL Evaluation Rules in Oracle XML DB
  • Summary Management and SQL Access Advisor
  • SQL Access Advisor Tasks
  • Standard Edition Starter Database
  • Core Dump Location
  • New Default Value for UNDO_MANAGEMENT
  • LOG_ARCHIVE_DEST_n Parameters
  • SHARED_POOL_SIZE Parameter
  • JOB_QUEUE_PROCESSES Parameter New Default Setting
  • Automatic Diagnostic Repository
• Compatibility and Interoperability Issues in Oracle Database 10g Release 2 (10.2)
  • Initialization Parameters Deprecated in Oracle Database 10g Release 2 (10.2)
  • Initialization Parameters Obsolete in Oracle Database 10g Release 2 (10.2)
  • Static Data Dictionary Views with Dropped Columns in Oracle Database 10g Release 2 (10.2)
  • SQL
  • CONNECT Role
  • Time Zone Files
  • New Limit for FAILED_LOGIN_ATTEMPTS
• Compatibility and Interoperability Issues in Oracle Database 10g Release 1 (10.1)
  • Initialization Parameters Deprecated in Oracle Database 10g Release 1 (10.1)
  • Initialization Parameters Obsolete in Oracle Database 10g Release 1 (10.1)
  • Static Data Dictionary Views Deprecated in Oracle Database 10g Release 1 (10.1)
  • Static Data Dictionary Views Obsolete in Oracle Database 10g Release 1 (10.1)
  • Dynamic Performance Views Deprecated in Oracle Database 10g Release 1 (10.1)
  • Dynamic Performance Views Obsolete in Oracle Database 10g Release 1 (10.1)
  • SQL Optimizer
    • Rule-Based Optimizer Desupported
    • Optimizer Statistics
    • COMPUTE STATISTICS Clause of CREATE INDEX
    • SKIP_UNUSABLE_INDEXES
  • SQL Changes
  • Invalid Synonyms After an Upgrade
  • Manageability
  • Transaction and Space
  • Recovery and Data Guard
  • RMAN
  • CREATE DATABASE
  • Oracle Real Application Clusters
  • Materialized Views
  • Change Data Capture
  • Change in the Default Archival Processing to Remote Archive Destinations
  • Limitations on NCHAR Data Types
  • PL/SQL Native Compilation
  • Evaluation of Numeric Literals
  • Change in Behavior for SESSION_CACHED_CURSORS
  • New Default Value for DB_BLOCK_SIZE
  • OPTIMIZER_MAX_PERMUTATIONS and OPTIMIZER_FEATURES_ENABLE
  • Change in Behavior for LOG_ARCHIVE_FORMAT
  • New Default Value for PGA_AGGREGATE_TARGET
  • Change in Behavior for SHARED_POOL_SIZE
  • Shared Server Parameters
    • New Default Value for DISPATCHERS
    • New Default Value for SHARED_SERVERS
    • New Default Value for MAX_SHARED_SERVERS
    • New Default Value for SHARED_SERVER_SESSIONS
    • New Default Value for CIRCUITS
    • New Default Value for MAX_DISPATCHERS

B Gathering Optimizer Statistics for Upgrading Oracle Database

• Collecting Statistics for System Component Schemas
• Creating a Statistics Table

Index